AI Confidentiality Exposure Assessment Framework

Oct 21, 2026 · @Damian Hickey · Draft for confirmation · Revised 8 November 2026 for six matter types and the board's confidentiality position

1. Summary

The AI confidentiality exposure assessment establishes, for one live or recently closed confidential matter, every channel by which the company's matter information can reach an external AI model, and what the company could show about each if asked whether the information left. The matter can be one of six types: a deal (M&A or capital raising), a litigation or dispute, an R&D or intellectual property programme, a tender or bid, board papers, or export-controlled data (section 2.8). The method is the same for each; the type sets the profile's wording, the stages, the adviser types and the names of the information classes. It is the technical half of a joint engagement led by DLC Legal. DLC Legal answers what the company can require of its people and advisers, and what it must disclose if information leaves; this assessment answers what can actually be shown.

Item	Position
Matter types	Deal · litigation or dispute · R&D or intellectual property · tender or bid · board papers · export-controlled data (section 2.8)
Question answered	For each channel by which matter information can reach an external model, what evidence can the company produce that the information did not leave, or of what left and when?
Unit of assessment	One channel: a sanctioned tool and its terms, a personal account or device, an enterprise assistant's reach over the matter folders, a data-room export path, or one adviser's tooling
Instruments	The channel register, the five questions and the non-egress evidence ladder
Duration	Two weeks
Inputs	Through counsel: the matter team and insider list, the adviser list and their letters, the confidentiality deed or other terms that bind the matter, the board's confidentiality position if the board has set one (section 8.6), the tenant owner's configuration summary, and the sanctioned tools' terms
Not required	Matter content, system access, matter data, provider involvement
Outputs	The channel register, one finding per channel, a 90-day plan from what exists, the residual gap marked, and a technical annex in Triodian's name
Independent check	Validation by a separate hand within Triodian; an external checker if DLC Legal confirms one
Measure	The company's own duties and the terms it has signed, as DLC Legal determines them. The assessment is solution-agnostic and presents no product
Fee	Fixed, proposed at A$12,500 to A$15,000, engaged by DLC Legal under privilege

Status of this document. The deck was written for deals. On 8 November 2026 the method was extended to six matter types (section 2.8) and to read the board's confidentiality position (section 8.6); section 13.3 lists both for confirmation. The problem statement, the four outputs, the engagement shape, the roles and the fee come from the DLC Legal planning deck (21 October 2026). The channel taxonomy, the five questions, the register fields, the ladder, the test, the finding types, the two-week plan and the templates are drafted here to make the method executable, following the structure of the AI Use Assessment Framework (11 October 2026) so that one app build can serve both. Section 13 lists each drafted element that needs confirmation.

Standing rule. Every legal determination is the company's and its counsel's. Triodian supplies the framework, the facts and the technical classification. Nothing in the assessment or its working papers states a legal conclusion, including whether any information was price-sensitive, whether any carve-out was lost, or whether any deed was breached.

Second standing rule. No matter content enters the assessment. The register describes channels, terms, settings and records. It never holds a matter document, a paragraph from one, a price, a party's name or a figure from a model. Section 2.8 lists what each matter type keeps out. The matter is referred to by a code name chosen by counsel.

2. Scope and boundaries

2.1 Why the matter window

The matter window is the period when a company's confidential information carries its highest value and its hardest consequences at the same time: from the first confidential step until the matter completes or is resolved, or 90 days after. Each matter type brings its own consequences. Which of them apply, and how, is DLC Legal's determination. The assessment records the information classes each channel can carry so that counsel can make it.

Matter type	What counsel considers in the window (for counsel to determine)
Deal	The deck names four: continuous disclosure, where confidentiality is the condition for the carve-out; insider trading, where deal information in the wrong hands is price-sensitive information; the confidentiality deed and its breach consequences; and the price, where a leak moves it, invites a rival bid or ends the process
Litigation or dispute	Whether privilege over advice and preparatory material is maintained; the court's orders, undertakings and the implied undertaking over discovered documents; the settlement position
R&D or intellectual property	Whether an invention is disclosed before a patent application is filed; whether trade secrets are kept under the reasonable steps their protection depends on; the terms agreed with research partners
Tender or bid	The tender's confidentiality and probity terms; competition law on sharing pricing; the bid's commercial position
Board papers	Continuous disclosure, where the company is listed; directors' confidentiality of board deliberations; inside information in the papers
Export-controlled data	Whether controlled technology is supplied to a foreign person or transferred outside the country without a permit; the conditions of any permit or licence; security classification

The considerations listed are the kinds counsel weighs; this framework states none of them as applying to any company or matter.

2.2 The channel and its boundaries

The assessment follows matter information outward from the company and tests three kinds of boundary. Each register entry and each finding is tagged with one of them.

Code	Boundary	Who controls the near side	What the company can do
B1	The company's own estate	The company's tenant owner and IT	Configure, direct, log
B2	An adviser's estate	The bank, law firm, technical adviser or data-room provider	Require by letter or deed; obtain attestation or record
B3	Personal estate	A member of the matter team or insider list, on a personal account or device	Direct only; evidence is the direction and its acknowledgement

2.3 The channel taxonomy

Every channel on the register is one of seven kinds. The taxonomy is fixed so that registers from different matters and different clients can be compared.

Code	Channel kind	Boundary	Example
K1	Sanctioned enterprise assistant with reach over stored content	B1	Microsoft 365 Copilot answering from any matter folder the user can open
K2	Sanctioned AI tool that receives what a user submits	B1	An enterprise chatbot licence; AI features inside Office, email or the browser
K3	Embedded AI in collaboration and meeting tools	B1	Meeting transcription and recap; AI notetakers invited to matter calls
K4	Unsanctioned AI reached from a managed device	B1	A consumer chatbot opened in the browser on a company laptop
K5	Personal device	B3	A chatbot on a phone, with a matter document photographed or a paragraph retyped
K6	Data-room and document movement	B1 or B2	Exports, downloads, prints and forwards that land a document where a K1 to K5 channel can reach it
K7	Adviser tooling	B2	Each adviser's own AI tools, one entry per adviser

A ban on a tool does not remove a channel. It usually moves a K2 or K4 channel to K5, where the company's controls do not reach. The register records the move.

2.4 The information classes

Each channel is tagged with the highest class of matter information it can reach. Classes are descriptive; counsel determines their legal character. There are always six, from I1 (the matter exists) to I6 (the most sensitive). The matter type gives them their names, so the scale reads the same way for every type: a higher class is more sensitive.

For a deal:

Code	Information class	Illustration
I1	The existence of the deal and the counterparty	Code name resolved; a calendar entry; an adviser's name
I2	Process and timetable	Bid dates, exclusivity, conditions precedent
I3	Price, terms and structure	Offer price, consideration, earn-outs
I4	Valuation and synergy models	Assumptions, synergy lines, sensitivities
I5	Due diligence findings	Technical, financial and legal findings about either party
I6	Board papers and recommendations	The board's position and the reasons for it

For the other types:

Code	Litigation or dispute	R&D or intellectual property	Tender or bid	Board papers	Export-controlled data
I1	Existence of the dispute and the parties	Existence of the programme and its partners	Existence of the bid and its partners	Existence of the matter before the board	Existence of the project and its partners
I2	Strategy and timetable	Milestones and timetable	Process and timetable	Agenda and timetable	Programme and schedule
I3	Settlement position and offers	Commercial terms and licensing	Price and commercial terms	Proposals and terms	Contract terms
I4	Merits and quantum assessments	Technical designs and data	Cost models and margins	Forecasts and financial models	Controlled technical data, summary level
I5	Evidence and expert reports	Source code and models	Solution and win strategy	Management and adviser reports	Detailed designs and specifications
I6	Privileged advice and instructions	Unfiled inventions and trade secrets	Board approvals and bid decisions	Board deliberations and resolutions	Classified or licence-restricted material

2.5 The set

The assessment covers every channel for one matter, of one type. The default register is 12 to 25 channels: one or two per channel kind in the company's own estate, one per adviser, and one per data-room movement path. Selection is not needed; completeness is. A channel the company says does not exist is still entered, with the reason, so the register shows it was considered.

2.6 In scope

• Every path by which matter information held by the company, its matter team or its insider list can reach an external AI model.
• The terms that govern each sanctioned tool and each adviser's tooling.
• The settings the company holds today: tenant configuration, DLP, sensitivity labels, information barriers, web filtering, the enterprise assistant policy, device management.
• The confidentiality deed or other terms that bind the matter (for a dispute, the court's orders and undertakings; for a tender, the tender's terms; for export-controlled data, any permit or licence conditions), each adviser's engagement letter, and any AI-use direction already issued for the matter.
• The board's confidentiality position, where the board has set one (section 8.6).

2.7 Out of scope

• Legal advice. Whether any information was price-sensitive, whether any obligation was engaged, what the deed requires, and the privilege position are DLC Legal's.
• Matter content. No matter document is read. Folder names, document counts and dates are the most the register holds.
• System access. No tenant is connected to, queried or tested. Configuration evidence is a dated export supplied by the tenant owner.
• Matter data and personal data. No prompt logs, chat histories or individual submissions are read. Logs are assessed for whether they exist, what they capture, and for what period.
• Provider involvement. No AI vendor is approached. Terms are read from the licence and documentation the company holds.
• Advisers' internal systems. Advisers are asked what their tooling can reach and what they can attest; no adviser system is examined.
• Forensics. The assessment establishes what could be shown. It does not investigate whether anything left.
• Products and gap closing. Closing the residual gap is a separate decision for the company after the findings.

2.8 Matter types

The method, the instruments, the channel kinds, the five questions, the ladder, the test and the findings are the same for every matter type. The type, recorded first in the profile, sets six things:

Set by the type	Where
The profile's wording and its stages	Section 6.1
The adviser types offered in the profile	Section 6.1
The names of the information classes I1 to I6	Section 2.4
What the second standing rule keeps out, in the type's terms	Below
How the exposure consequences X2 to X4 read	Section 8.2
The board's class of information for the matter, when the board's confidentiality position is loaded	Section 8.6

Type	The matter is called	Kept out of the assessment, in addition to its documents	Board class (8.6)
Deal (M&A or capital raising)	deal	Counterparty name, price, figures	G6 Board and transaction
Litigation or dispute	dispute	Party names, amount claimed, settlement figures	G5 Restricted
R&D or intellectual property	programme	Inventions, formulas, designs, partner names	G5 Restricted
Tender or bid	bid	Client name, price, margin	G3 Commercial in confidence
Board papers	board matter	Proposals, figures, people affected	G6 Board and transaction
Export-controlled data	project	Controlled data, specifications, customer names	G5 Restricted

Where the method says "insider list", read the insider list for a deal or board papers, and for the other types the people with access recorded in P3 (for export-controlled data, those cleared for controlled data). The exposure consequences X2 to X4 have a reading for each type (section 8.2).

A deal reads exactly as the method did before matter types. An assessment saved without a type is a deal.

2.9 In ISO terms

In ISO/IEC 27002:2022 terms the assessment is evidence about data leakage prevention (8.12), information transfer (5.14) and information deletion (8.10) for one matter, at each channel by which its information can reach an external AI model. In ISO/IEC 42001:2023 terms it is evidence for the responsible use of AI systems (A.9.2) and, for an adviser's or provider's tools, for suppliers (A.10.3). It is not an AI system impact assessment (A.5; ISO/IEC 42005:2025).

The assessment does not assess likelihood, bias, data or model behaviour. It grades how far the obtainable evidence falls short of the required rung; that grade is not a risk rating. The Reference screen sets the ladder N0 to N6 beside the ISO/IEC 27002 controls it supports.

3. Framework at a glance

Three instruments are applied in four steps, the same way to every channel for every matter.

3.1 The three instruments

Instrument	What it is	Section
Channel register	One entry for each path by which matter information can reach an external model, with a fixed set of fields	6
The five questions	The ordered questions put to every channel. Two sit under all of them: what can the company require, and what can actually be shown	7
Non-egress evidence ladder	A scale of what the company could show about a channel, matched to what the channel can reach	8

3.2 The four steps

1. Fix the matter profile. The matter code name, the matter team and insider list, the matter folders by name, the advisers, and the privilege position. Agreed with the GC or the executive who approved the brief.
2. Register the channels. Every channel of every kind, with the terms, settings and records that govern it today. Each becomes a register entry.
3. Classify and test. The reach and information class of each channel, the indicative rung, and the evidence obtainable.
4. Questions to counsel. Legal questions go to DLC Legal in writing. Counsel sees every draft first. Counsel's determinations are recorded against each entry and the finding is set.

3.3 The logic of a finding

Each channel produces three positions on the ladder. The finding is the relationship between the last two.

Position	Meaning	Set by
Indicative rung	The evidence type that corresponds to what the channel can reach	Triodian, by rule (section 8.3)
Required rung	The evidence the company can reasonably require for this channel, given its rights over it	The company and counsel
Obtainable rung	The highest evidence type that can in fact be produced for the matter window and independently checked	Triodian, by test (section 8.4)

3.4 The residual gap

Every channel that accepts typed or pasted text has the same gap: a paraphrase of a confidential paragraph, or fragments across many prompts that add up to the matter's sensitive content, pass every control the company owns, because those controls check files, patterns and destinations and none reads meaning. The ladder has a rung for the control that would close it (N6). No control the company has deployed reaches that rung. The assessment names the gap on every channel where it exists, names the class of control that would close it, and leaves the decision to the company. It does not name a product.

3.5 Operating principles

• No matter content. The register holds channels, terms, settings and records. Nothing else.
• Start from what exists. The company's own settings, policies and letters are the first input. Most of the register closes with configuration and contract.
• "No reasonable reach" is a conclusion. It is documented as a finding, not treated as a gap.
• Solution-agnostic. The test is the company's duty, not Triodian's: can the evidence be produced, and can someone independent check it?
• The work can stop at the findings. The register and findings are usable whether or not anything follows.

4. Roles and governance

4.1 Parties

Party	Role	Engaged by	Where it stops
The company	Client. The CEO or board approves the brief, the fee and the privilege position. The CFO's matter team, the advisers and the tenant owner hold the channels	n/a	n/a
DLC Legal	Leads the engagement, holds the client, engages Triodian, owns every legal call, drafts the matter confidentiality protocol and board paper	The company	n/a
Triodian	Technical party. Does the assessment and the register. Responsible for the result	DLC Legal	Gives no legal advice. Presents no product. Closes the residual gap only if the company asks, under a separate direct engagement
Independent checker	Checks Triodian's assessment and reports to DLC Legal	DLC Legal, separately from Triodian (to be confirmed)	Does not do the assessment or build any control. Gives no legal advice

4.2 Responsibility by activity

R = does the work. A = accountable for it. C = consulted. I = informed.

Activity	CEO or GC	Matter team lead	Tenant owner	Advisers	DLC Legal	Triodian	Checker
Approve the brief, fee and privilege position	A	I	I	I	R	C	I
Fix the matter profile	A	C	C	I	R	C	I
Supply letters, deed, policies and configuration export	A	R	R	R	C	I	I
Build the channel register	I	C	C	C	I	A, R	I
Classify reach and information class	I	C	C	I	C	A, R	I
Test evidence obtainability	I	C	C	C	C	A, R	I
Determine rights, required evidence and reach	A	I	I	I	R	C	I
Draft findings, 90-day plan and technical annex	I	C	C	I	C	A, R	I
Check the assessment and its findings	I	I	I	I	A	C	R
AI-use direction, adviser clauses, deed terms, board paper	A	I	I	I	R	C	I

4.3 Team

Role	Person	Responsibility in the assessment
Method owner	Damian Hickey	Scope, sequence and the evidence each stage has to produce. Signs the technical annex
Delivery manager	Leon Cosgrove	Plan, document requests, interview schedule, exceptions log
AI architect	Abhishek Gupta	Technical reading of each tool and setting: what it reaches, what it retains, what record it leaves
Validation	Sam Ferraro PhD	Checks the measures without having written them, before anything goes to counsel or the checker

4.4 Rules of engagement

• Counsel first. Every draft goes to DLC Legal before anyone at the company sees it.
• Legal questions in writing. Any point needing a legal view is logged as a numbered question to counsel (section 9.5) and is not answered in a working paper.
• Privilege. The work is scoped through counsel on the privilege position DLC Legal determines. Marking, storage and circulation follow its instruction. The privilege marking appears on the first line of every output.
• One technical party. DLC Legal deals with Triodian for all technical matters.
• Advisers through the company. Any question to an adviser goes through the company's matter team lead or through DLC Legal, never directly from Triodian.
• Independence of the check. The checker receives the register, worksheets and annex from DLC Legal, not from Triodian, and reports to DLC Legal.

5. Workplan

Two weeks, ten working days. The plan assumes documents D1 to D9 arrive by day 2 and counsel answers questions within two working days.

5.1 Phases

Phase	When	Activities	Output	Exit gate
0. Mobilise	Before day 1	DLC Legal confirms the brief with the executive who approved it. Privilege position and document handling set. Matter code name chosen. Document request issued	Confirmed brief. Document request list. Named contacts	Brief confirmed in writing by DLC Legal
1. Matter profile	Days 1 to 2	Record the matter team and insider list by role and count, the matter folders by name, the advisers, the sanctioned tools, the device policy. Agree the profile with the GC	Matter profile (section 6.1)	GC and DLC Legal agree the profile
2. Register the channels	Days 2 to 5	Interview the matter team lead, the tenant owner and the data-room administrator. Read the licence terms, letters and deed. Enter one channel per kind per estate, and one per adviser	Register with fields 1 to 14 complete (section 6.2). Source index	Every entry has a source and a date. Every channel kind considered
3. Classify and test	Days 5 to 8	Classify reach and information class. Set the indicative rung. Run the obtainability test. Perform the five-minute demonstration if counsel allows. Validation	Register fields 15 to 22 complete. Rationale per entry. Draft worksheets	Validation passed with no open exceptions
4. Questions to counsel	Days 5 to 9	Issue the numbered question set to DLC Legal as questions arise. Record determinations on rights, reach and required rung	Question log with responses. Fields 23 to 25 complete	Every question answered, or open with an owner
5. Findings and plan	Days 8 to 10	One finding per channel. The 90-day plan from what exists. The residual gap named. Technical annex drafted. Draft to counsel first	Finding worksheets. 90-day plan. Technical annex, draft	DLC Legal accepts the draft for the check
6. Check	Day 10, or the following week if an external checker is confirmed	The pack goes to the checker through DLC Legal. Triodian answers queries through the same line	The check, reported to DLC Legal. Final annex	Check confirmed complete
7. Close	After the check	Register and annex handed to DLC Legal for its protocol and board paper. Working papers archived as DLC Legal directs	Final register. Closure note	DLC Legal's advice issues with the annex attached

5.2 Document request list

Issued in phase 0 through DLC Legal. No document contains matter content; where one would, a redacted or structural version is requested.

Ref	Document	Used for
D1	Matter team and insider list, by role and count (names only if counsel permits)	Matter profile; B3 channels
D2	Matter folder structure: locations, folder names, sharing settings, document counts. No documents	K1 reach; K6 paths
D3	Adviser list with each engagement letter and any side letter	K7 entries; what each letter requires on information handling and AI
D4	The confidentiality deed and any counterparty protocol	What the company has undertaken; what it must show
D5	Tenant configuration summary exported by the tenant owner: enterprise assistant scope and policy, DLP rules, sensitivity labels, information barriers, web filter categories, retention	K1 to K4 settings; N3 evidence
D6	Licence terms and data-handling documentation for each sanctioned AI tool	K2, K3 terms: retention, training, logging, residency
D7	Data-room provider terms, AI feature settings, export and watermark settings, access and export log availability	K6 entries
D8	Device policy: managed devices, BYOD, mobile device management, app controls	K4, K5
D9	AI acceptable-use policy and any AI-use direction already issued for the matter	N1 evidence; what staff have been told
D10	Existing assurance over the above: internal audit, security certifications, prior DLP reviews	What existing assurance already covers

5.3 Interviews

Who	Purpose	Length
GC, or the executive who approved the brief	Confirm the profile and the privilege handling. Hear what the company believes it could show today	30 min
Matter team lead, CFO's office	How the team works: tools in daily use, late-night habits, what is pasted where, what has been told to the team	45 min
Tenant owner or head of IT security	Walk through D5. What each setting reaches and does not. What logs exist and for how long	60 min
Data-room administrator	Export paths, AI features in the room, what the room logs	30 min
Each adviser's relationship lead, through the company	What their tooling can reach, what their firm policy says, what they can attest in writing	20 min each

5.4 The five-minute demonstration

Performed in phase 3, in front of the CEO and CFO if DLC Legal allows, using nothing not already in the room.

1. Take one redacted paragraph from a past matter, or from this one if counsel allows. For a deal: a valuation assumption, a synergy line, a condition precedent. For other types, a passage of the same kind from the matter's I3 to I5 classes (section 2.4).
2. Paraphrase it as a diligent analyst would before asking an AI tool for help. No names, no numbers that match a pattern.
3. Run it past the company's controls: DLP, labels, the web filter, the assistant policy. Record which pass it.
4. Ask what the record would show if it had gone out.

The demonstration is not an evidence item and produces no finding on its own. The annex records whether it was performed, on what text, and which controls passed the paraphrase. It is the moment the question stops being an IT setting and becomes a board question.

6. Channel register

6.1 Matter profile

Recorded once per assessment. The profile replaces the calibration set used in the AI Use Assessment; it is small and is set by counsel and the GC, not by a board process. The matter type comes first; it sets the wording of P1 to P5 and the stages in P2.

#	Field	Format
Type	Matter type	Deal · litigation or dispute · R&D or intellectual property · tender or bid · board papers · export-controlled data (section 2.8)
P1	Matter code name	As chosen by counsel
P2	Stage	Four stages, by type (below)
P3	Team size and the people with access	Counts by role
P4	Matter folders	Location and folder name, with sharing scope and document count
P5	Advisers	Firm type and role for each, from the type's adviser types (below)
P6	Sanctioned AI tools	Each tool, licence tier, and whether its scope reaches P4
P7	Device policy	Managed only · managed plus BYOD · unmanaged permitted
P8	Privilege marking	As DLC Legal instructs
P9	Counsel turnaround	Working days agreed for questions

Type	P1, P3 and P4 as the profile asks them	P2 stages	P5 adviser types
Deal	Deal code name · deal team size and insider list size · deal folders	Pre-approach · in diligence · signed, pre-completion · completed within 90 days	Bank · law firm · technical adviser · accounting · data-room provider · other
Litigation or dispute	Matter code name · matter team size and people with access · matter folders	Before proceedings · pleadings and discovery · evidence and hearing · judgment, appeal or settlement within 90 days	Law firm · barrister · expert witness · litigation funder · e-discovery provider · other
R&D or intellectual property	Programme code name · programme team size and people with access · programme folders and repositories	Research · development · before patent filing · pre-launch or launched within 90 days	Patent attorney · law firm · research partner · contract manufacturer · technical adviser · other
Tender or bid	Bid code name · bid team size and people with access · bid folders	Preparing · submitted, under evaluation · preferred, in negotiation · awarded or lost within 90 days	Bid consultant · law firm · teaming partner · subcontractor · technical adviser · other
Board papers	Matter code name · directors, secretariat and executives with access · board folders	Papers in preparation · circulated to directors · decided, not yet announced · announced within 90 days	Law firm · bank · accounting · board portal provider · consultant · other
Export-controlled data	Project code name · project team size and people cleared for controlled data · controlled data folders	Planning · active, controlled data held · delivery or transfer · closed within 90 days	Law firm · export compliance adviser · prime contractor · subcontractor · technical adviser · other

Field 4 of the register ("Who uses it") reads "matter team" for every type; for a deal, the matter team is the deal team.

6.2 Fields

The deck names the register's purpose and four outputs. The 25 fields below break the register into items a reviewer can test one at a time.

#	Field	Allowed values or format	Completed by	Phase
1	Entry ID	CH-01 onward	Triodian	2
2	Channel kind	K1 to K7 (section 2.3)	Triodian	2
3	Boundary	B1, B2, B3	Triodian	2
4	Who uses it	Matter team · insider list · adviser · everyone with folder access	Triodian	2
5	Tool or service	Name and licence tier, or "any consumer tool" for K4 and K5	Triodian	2
6	Provider and model behind it	Legal entity names, or "not known"	Triodian	2
7	Location of processing and retention	Country, or "not known"	Triodian	2
8	How information enters the channel	Scope over stored content · paste or type · upload · transcription · export then re-entry	Triodian	2
9	Terms on retention, training, logging and human review	Clause references with verbatim extracts, or "consumer terms" or "not known"	Triodian	2
10	Settings in force today	From D5, D7, D8: the specific setting, its value, and the export date	Triodian with tenant owner	2
11	Records the channel leaves	What is logged, where, for how long, who can retrieve it	Triodian with tenant owner	2
12	Direction given to users of this channel	The AI-use direction or policy text that covers it, or "none"	Triodian	2
13	Terms the company holds over the channel's owner	For B2: the letter or deed clauses on information handling, AI and attestation, verbatim. For B1: "own estate". For B3: "direction only"	Triodian	2
14	Sanctioned status	Sanctioned · tolerated · banned · banned, use moved to K5	Triodian	2
15	Reach	R1 to R4 (section 8.1)	Triodian	3
16	Information class reachable	I1 to I6 (section 2.4), the highest	Triodian	3
17	Indicative rung	N0 to N6 (section 8.3)	Triodian, by rule	3
18	Evidence the company holds today	Rung and description, or "none"	Triodian	3
19	Evidence the channel could produce	The record or export and where it would be generated	Triodian	3
20	Independently checkable	Yes · no · partly, with reason	Triodian	3
21	Obtainable rung	N0 to N6 (section 8.4)	Triodian, by test	3
22	Confidence in obtainability	High · medium · low	Triodian	3
23	Rights determination	Counsel's wording on what the company can require over this channel, with question reference	DLC Legal	4
24	Required rung	N0 to N6	DLC Legal	4
25	Finding, closing route and owner	F1 to F5 (section 9.1), route (section 9.3), named owner	Triodian, after counsel	5

6.3 Completion rules

• Every value has a source. Each field carries a source reference (document and page, or interview and date). A value without a source is recorded as "not known", never estimated.
• No matter content, anywhere. A reviewer who finds a price, a counterparty name, a model figure or a document extract in any field records an exception and the field is cleared.
• Field 8 is descriptive, field 15 is the judgement. How information enters is written before reach is set, so a reviewer can re-derive reach from it.
• Fields 23 and 24 are never completed by Triodian. They are transcribed from counsel's written response, with the question number.
• Banned tools stay on the register. A banned K2 or K4 channel is kept with field 14 set, and a K5 entry is added for where the use goes.
• "Not known" is a valid entry and is counted. The annex reports how many fields are not known, by channel kind.
• Confidence is low by default at B2. No adviser system is examined, so a K7 rung rests on the letter and the adviser's statement.
• One classifier, one reviewer. Fields 15 to 22 record who classified and who reviewed. They cannot be the same person.

7. The five questions

The questions are worked in order for every channel. The determination at each step is the company's and its counsel's. Triodian supplies the framework and the facts each determination needs.

7.1 Question set

#	Question	Answer scale	Determined by	Facts Triodian supplies	Register fields
1	Who can reach this channel, and with what matter information?	Reach R1 to R4; information class I1 to I6	Triodian classifies; matter team lead confirms	Who uses it, how information enters, scope over folders	4, 8, 15, 16
2	What governs the channel: whose terms, whose settings, whose direction?	Own estate · adviser's estate under letter or deed · personal, direction only	Triodian records; counsel determines what the terms mean	Verbatim terms, settings in force, direction given	9, 10, 12, 13
3	What record does the channel leave, and who can retrieve it?	None · tool-side only · company-retrievable · adviser-retrievable	Triodian	What is logged, retention period, retrieval route	11, 19, 20
4	What can the company require over this channel?	For B1: anything it configures. For B2: what the letter or deed gives. For B3: direction and acknowledgement	Counsel	Field 13 extracts; next contracting point for each adviser	13, 23, 24
5	What evidence can be shown that the information did not leave, or of what left and when?	N0 to N6	Counsel determines the required rung; Triodian tests obtainability	Indicative rung, evidence held, evidence producible, checkability	17 to 22, 24

7.2 Tests under each question

Q1, reach. Three tests, each answered from the sources:

1. Can the channel answer from stored matter content without a person pasting it? (K1: yes if the assistant's scope includes any matter folder the user can open.)
2. Can a person put whole documents into it, or only typed and pasted text?
3. Does it receive content without anyone deciding to submit it? (K3 transcription; K6 automatic sync.)

The reach class follows from the answers (section 8.1). The information class is the highest class in any folder or document the channel can reach.

Q2, governance. For each channel Triodian extracts, without interpretation: any term on retention and deletion; any term on use of submitted content for training or product improvement; any term on logging and on who may access logs; any term on human review by the provider; any term on data residency; and, for B2, any clause in the engagement letter or deed that reaches the adviser's use of AI, or that would, and the next point at which the letter can be amended. Whether a term is sufficient is a question to counsel.

Q3, record. Triodian records what the channel logs, whether the log captures submitted content or only metadata, how long it is kept, and who can retrieve it. The assessment asks whether a log exists and what it would show. It does not read any log.

Q4, rights. Triodian does not answer this. It supplies the extracts and the contracting points. Three points are flagged for counsel on every B2 channel: whether the letter reaches the adviser's sub-advisers and platforms; whether an attestation can be required and in what form; and whether the deed's obligations on the company extend to what its advisers do.

Q5, evidence. Split into two halves and kept separate throughout:

• What can be required is counsel's determination and becomes the required rung.
• What can be shown is Triodian's test (section 8.4) and becomes the obtainable rung.

7.3 Stop rules

• B3 with direction only. If the only lever is a direction to an individual, the indicative rung is N1 and the test asks only whether a direction exists and was acknowledged. The residual gap is recorded (section 9.1, F5).
• Counsel finds no reasonable reach. The channel is recorded as F3. Q1 to Q3 are still completed so the conclusion is documented against what the channel can reach.
• Facts unavailable. Where the documents do not show what a tool retains, what an adviser's tooling can reach, or what a setting is, the entry is recorded as F4 with the specific question that would resolve it.

8. Classification and the non-egress evidence ladder

8.1 Reach classes (question 1)

Code	Reach	Deciding test	Illustration
R1	Typed and pasted text only	A person must type or paste; no file upload; no scope over storage	A chatbot with upload disabled
R2	Documents a person chooses to submit	Upload or attach, one document at a time	A chatbot with upload; an AI feature inside a document editor
R3	Stored content the user can open	The tool answers from folders, mailboxes and chats within the user's permissions	An enterprise assistant with default scope over the tenant
R4	Content it receives without a submission	Transcription, recording, automatic sync, data-room AI features	A meeting notetaker; a data room's built-in summariser

Where a channel fits two classes, the higher is recorded and the reason noted.

8.2 Exposure consequence (used in the gap rating)

Code	Consequence	Meaning for the assessment
X1	Immaterial	Information class I1 only, already public or about to be
X2	Deed and letter consequence	Classes I1 to I2 reachable; the counterparty's deed is engaged
X3	Process consequence	Classes I3 to I5 reachable; price, rival bid or process at stake
X4	Disclosure and trading consequence	Classes I3 to I6 reachable by anyone outside the insider list

The labels above are written for a deal. For the other types the codes and class ranges are the same, and X2 to X4 read as follows. "Outside those with access" means outside the people recorded in P3.

Type	X2	X3	X4
Litigation or dispute	Order and undertaking consequence: the court's orders, undertakings or the other side's confidentiality terms are engaged	Position consequence: the settlement position or strategy is at stake	Privilege consequence: classes I3 to I6 reachable by anyone outside those with access
R&D or intellectual property	Partner terms consequence: the terms agreed with research partners are engaged	Commercial consequence: the licensing position or competitive advantage is at stake	Protection consequence: classes I3 to I6 reachable by anyone outside those with access
Tender or bid	Tender terms consequence: the tender's confidentiality terms are engaged	Bid consequence: price or win strategy is at stake	Probity and competition consequence: classes I3 to I6 reachable by anyone outside the bid team
Board papers	Confidentiality of board business: directors' and officers' confidentiality is engaged	Decision consequence: the proposal or its timing is at stake	Disclosure and trading consequence: classes I3 to I6 reachable by anyone outside those with access
Export-controlled data	Contract and licence-condition consequence: contract terms or permit conditions are engaged	Programme consequence: the programme or its delivery is at stake	Export control consequence: classes I3 to I6 reachable by anyone not cleared, or from outside the country

The code is a technical label for the information the channel can reach. Whether any disclosure, trading, privilege, patent, probity or export provision is engaged is counsel's determination and is never stated by Triodian.

8.3 The non-egress evidence ladder (question 5)

Code	Rung	What the company holds	Produced by	Closes the paraphrase gap
N0	None	Nothing	n/a	No
N1	Direction	A written AI-use direction covering the channel, issued to the matter team and insider list, with acknowledgements and dates	DLC Legal drafts; matter team lead issues	No
N2	Attestation	A signed statement from the tool provider's terms or from an adviser: what the tool retains, whether content trains any model, what the adviser's tooling can reach, over the matter window	The provider's terms; the adviser	No
N3	Configuration	A dated export of the settings in force: assistant scope, DLP rules, labels, barriers, web filter, device policy, with change history for the matter window	The tenant owner	No
N4	Record	A retrievable log of what crossed the channel in the matter window: submissions, uploads, exports, transcriptions, with who and when, capturing enough to answer "what left"	The tenant owner; the data-room provider; the adviser	Partly: shows what left, after the fact
N5	Containment	Evidence that the channel cannot reach matter content at all for the matter window: assistant scope excluding the matter folders, barriers between the matter team and the rest, uploads disabled, data-room AI features off	The tenant owner; the data-room provider	For R3 and R4 reach only
N6	Meaning control	A control at the boundary that reads the meaning of outbound text against the matter's sensitive content, independent of the AI, with a signed record per submission of what was requested, what applied and what was allowed	A control not yet deployed in the company's estate	Yes

Indicative rung. The base rule pairs each reach class with one rung.

Reach class	R1	R2	R3	R4
Indicative rung	N4	N4	N5	N5

Adjustment for boundary (proposed, for confirmation).

• B2 channels: the indicative rung is capped at N4, since the company configures nothing in an adviser's estate. N5 is reached at B2 only where the adviser attests to containment.
• B3 channels: the indicative rung is N1. Nothing above N1 can be produced for a personal device.

Every adjustment is recorded with its reason. The indicative rung is a technical starting point. Which rung applies is a determination for the company and its counsel.

8.4 Obtainability test

The test starts at the indicative rung and steps down one rung at a time until all five conditions pass. That rung is the obtainable rung.

#	Condition	Question	Source
T1	Produced	Does a record, export or statement of this type exist, or could it be produced from what is already in place without new tooling?	D5 to D9, interviews
T2	Matter-scoped	Can it be produced for this matter window and this matter team without exposing matter content or individuals' personal data beyond what the question needs?	Nature of the record
T3	Reachable	Is there a route for the company to obtain it: it holds the setting, or a term in a letter or deed gives it, or a contracting point exists where one could be added?	Fields 10, 13
T4	Checkable	Can someone independent of the party producing it verify it?	Field 20
T5	Timely	Can it be produced within the time the company would need to act on it and meet any notification obligation counsel identifies?	Retention periods, retrieval route

T3 records whether a term or setting exists and what it says. Whether the term is sufficient or enforceable is a question to counsel.

Confidence. High where the export, log sample or attestation has been seen. Medium where the documentation describes it. Low where the rung is inferred from the type of tool.

8.5 Worked illustration

Illustrative only, not drawn from any client.

Field	Entry
Channel	K1, the enterprise assistant, B1
How information enters	Scope over all SharePoint and mailbox content the user can open, including the two matter folders
Reach	R3
Information class	I6: the board paper folder is within scope for the matter team
Indicative rung	N5 by base rule
Evidence held today	N3: a configuration export showing default scope; no restriction on the matter folders
Obtainability	N5 fails T1 (restricted content discovery not applied to the matter folders; could be, without new tooling, so T1 passes on "could be produced"; T3 passes; T4 passes with a dated export; T5 passes). N5 obtainable
Obtainable rung	N5, high confidence once the export is seen
Finding	F2 at 0 rungs if counsel requires N5 and the setting is applied in the 90-day plan; F5 recorded beside it, because the assistant still accepts pasted paraphrase
Question to counsel	Does the deed require the company to show containment over its own estate, and by when?

A second illustration, for contrast: K5, a phone, B3. Reach R1. Indicative N1. Evidence held N0 (no direction issued). Obtainable N1 once DLC Legal's direction issues and acknowledgements are collected. Finding F2 at one rung with owner the matter team lead, and F5 recorded beside it.

8.6 The board's confidentiality position (a suggestion for counsel)

Where the board has set a confidentiality position in AI Board Direction, the company can supply the file it issues (step B5). It marks each class of company information, G1 Public to G6 Board and transaction, against each kind of AI tool: P permitted, C permitted with conditions, N not permitted. It has no column for K6 (data-room and document movement).

The matter type gives the board class (section 2.8). For each channel, the board's mark for that class and the channel's kind gives a suggested required rung, shown beside field 24 and marked "from the board's position, counsel to confirm":

Board's mark	Suggested required rung	Why
N, not permitted	N5 Containment	The board does not permit this class of information in this kind of tool, so the evidence that fits is that the channel cannot reach the matter's content
C, with conditions	The indicative rung for the channel's reach (section 8.3), with the board's conditions listed	The conditions show what the evidence has to cover
P, permitted	N0	The board's position calls for no evidence on this channel
Unmarked, or K6	None	The position says nothing about it

The suggestion is an input to counsel's determination, never a substitute for it. Field 24 is still completed only from counsel's written response (section 6.3), and a draft position, not yet resolved by the board, is flagged as a draft on every suggestion. The mapping from marks to rungs is drafted here for confirmation (section 13.3).

9. Findings and the 90-day plan

9.1 Finding types

One finding is recorded per channel after counsel has set the required rung. The deck names "a finding per channel", "no reasonable reach" and "the residual gap, marked honestly". F4 and the separate F5 code are proposed here.

Code	Finding	Condition	What is recorded
F1	Shown	Obtainable rung is at or above the required rung	The evidence, who produces it, how it is checked
F2	Gap, closable from what exists	Obtainable rung is below the required rung, and the route to close it is configuration, contract or direction	The gap in rungs, which test failed, the route, the owner and the 90-day step
F3	No reasonable reach	Counsel determines the company cannot reasonably require evidence over this channel	Counsel's determination and its basis, with the technical classification beside it
F4	Not determinable on documents (proposed)	The documents do not show what the channel retains or reaches	The question that would resolve it, and who could answer it
F5	Residual gap, meaning (proposed)	The channel accepts typed or pasted text, and no deployed control reads meaning	Recorded beside F1 or F2, never instead of them. Names the class of control that would close it and the earliest horizon. Names no product

F5 is expected on most B1 and B3 channels. Reporting it on each channel, rather than once in the annex, is deliberate: the board paper then shows the gap's extent, not only its existence.

9.2 Evidence shortfall grade (proposed, for confirmation)

Gap size is the required rung minus the obtainable rung. The evidence shortfall grade combines gap size with exposure consequence. It is not a risk rating: the assessment does not assess likelihood.

Gap size	X1	X2	X3 or X4
1 rung	Low	Low	Medium
2 rungs	Low	Medium	High
3 or more rungs	Medium	High	High

A gap at low confidence is reported at its grade with the confidence shown beside it. F5 carries no rating; it is reported by count and by the information classes it covers.

9.3 Closing routes and the 90-day plan

Each F2 names one route and one owner. The plan lists the F2 steps by owner and by week, ordered by grade. Who closes F5, and with what, is a separate decision for the company.

Failed test	Usual route	Usual owner	Typical 90-day step
T1, produced, at B1	Configuration	Tenant owner	Restrict assistant scope over the matter folders; apply barriers; enable retrievable logging; disable AI features on the data room
T1, produced, at B2	Contract	DLC Legal, through the GC	Attestation and record terms in the adviser letter at the next amendment, with the register beside the clauses
T1, produced, at B3	Direction	Matter team lead, with DLC Legal's text	Issue the AI-use direction; collect acknowledgements; add it to the insider list process
T2, matter-scoped	Configuration	Tenant owner	Scope logs and exports to the matter team and window
T3, reachable	Contract	DLC Legal	Clause in the letter or deed; or the finding records that no contracting point falls within 90 days
T4, checkable	Process	GC	Nominate who verifies the export or attestation; keep the dated copy
T5, timely	Process	Tenant owner; data-room administrator	Confirm retention covers the window; agree retrieval time
Residual (F5)	Separate decision	The company	A control that reads meaning at the boundary. Not part of this plan

9.4 Finding worksheet

One worksheet per channel. It is the working paper the checker reviews and the source for the annex.

Part	Contents
A. Identification	Channel ID, kind, boundary, worksheet version, preparer, reviewer
B. Path	How matter information reaches the channel, from folder to model, with the parties on the way
C. Facts	Register fields 4 to 14, each with its source reference
D. Classification	Reach and information class, each with a two-line rationale tied to part C
E. Ladder	Indicative rung, any adjustment and reason, evidence held today
F. Obtainability	Result of T1 to T5 at each rung tested, the obtainable rung and confidence
G. Questions to counsel	Each question, date sent, response, date received
H. Counsel's determinations	Fields 23 and 24, transcribed with question references
I. Finding	Type, gap size and grade, failed test, route, owner, 90-day step; F5 beside it if it applies
J. Not known	Every field recorded as not known, and what would resolve it

9.5 Question-to-counsel template

Field	Contents
Reference	QC-01 onward
Channel	CH ID
Which of the five questions	2, 4 or 5
Facts	What the documents show, with source references. No characterisation, no matter content
Question	One question, answerable with a determination
Why it matters to the assessment	Which register field and which test depend on it
Response	Counsel's wording, unedited
Status	Open · answered · open with owner

10. Deliverables

10.1 What Triodian produces

#	Deliverable	Contents	Accepted when
CD1	Channel register	All 25 fields for every channel. Source index. Count of not-known fields by kind	Every channel kind considered; every entry has a finding or is recorded F4; no field blank
CD2	Finding per channel	One worksheet per channel (section 9.4). A one-page summary table: channel, kind, boundary, reach, class, indicative, required, obtainable, finding, grade, F5 flag	Each worksheet reviewed; each rung traceable to a test result
CD3	90-day plan from what exists	Every F2 step by owner and week, with the setting, clause or direction it uses, and what evidence it will produce when done	Each step names an owner who holds the setting, the letter or the team
CD4	The residual gap, marked	The channels carrying F5, the information classes they reach, the class of control that would close it, the earliest horizon, and what the company would be able to show once it existed. No product named	DLC Legal confirms the language rules in 10.4 are met
CD5	Technical annex, in Triodian's name	Method, matter profile (code name only), summary table, findings, the demonstration record, limitations, not-known count, statement of what was not done	Validation complete; the check complete and its points closed or disclosed

10.2 What DLC Legal produces

Listed so the interfaces are clear. These are not Triodian deliverables.

Deliverable	Depends on from Triodian
Matter confidentiality protocol	The register and the 90-day plan
AI-use direction to the matter team and insider list	B3 and K2 to K4 entries; what each channel does with what is submitted
AI clauses for adviser letters and the deed	K7 entries, the extracts in field 13, the contracting points, and the attestation items at N2 and N4
Board paper on AI use during the matter, in the firm's name	The technical annex (CD5) and the residual gap (CD4)
Privilege position and every legal call	The question log

10.3 Technical annex outline

1. Purpose, and the question the assessment answers
2. What was and was not done: no matter content, no system access, no logs read, no vendor or adviser system examined, no forensics, no legal advice
3. The matter profile, by code name, and the channel kinds covered
4. Method: register, five questions, ladder, obtainability test
5. The five-minute demonstration: whether performed, on what text, which controls passed
6. Summary table of findings
7. Finding by channel
8. The 90-day plan, by owner
9. The residual gap: extent, classes reached, class of control, horizon
10. Patterns: which test fails most, and at which boundary
11. Limitations and confidence, including the not-known count
12. Appendices: register extract, question log, source index, exceptions log

10.4 Language rules for every deliverable

• State what the documents show and what the classification is. Do not state what the law requires, what is price-sensitive, or whether anything was breached.
• Use "indicative" for Triodian's rung and "required" only for counsel's.
• Use "gap" only where counsel has set a required rung above the obtainable one. Use "residual gap" only for F5.
• Name no product, including Triodian's and Pinpole's. Describe the N6 control by what it does.
• No matter content, name, figure or document extract appears anywhere. The matter is its code name.
• Report channels and settings, never individuals' submissions.

11. Relationship to the AI Use Assessment

The confidentiality assessment is one instance of the general method. The two registers are designed to join.

Confidentiality assessment	AI Use Assessment	Join
Channel (K1 to K7)	Entry at boundary B3, the company's own use of an external AI service	A K1, K2 or K3 channel becomes a B3 entry with authority A1, productivity
Reach R1 to R4	Fields 11 to 13: what the AI does, human involvement, credentials	R3 and R4 map to "the output is produced without a person submitting"
Information class I1 to I6	Failure consequence C1 to C5	Counsel maps classes to the company's thresholds if an appetite is later set
Non-egress ladder N0 to N6	Evidence ladder E0 to E6	N6 and E6 are the same class of control, read at the boundary
Finding F1 to F5	Finding F1 to F4	F5 has no counterpart; it becomes an F2 against E6 once an appetite exists

A register extract from the confidentiality assessment can seed a later AI Use Assessment for the same client, so that a client's second engagement starts from a register rather than from nothing.

12. Quality control

12.1 Review points

#	Review	When	Reviewer	Tests
R1	Profile review	End of phase 1	DLC Legal and GC	Profile agreed; every channel kind listed for consideration
R2	Register completeness	End of phase 2	Delivery manager	Fields 1 to 14 complete or not known; every value sourced and dated; no matter content in any field
R3	Classification review	During phase 3	A second Triodian reviewer, not the classifier	Reach re-derived from field 8 without sight of the original; differences resolved and logged
R4	Validation	End of phase 3	Sam Ferraro	Rules in 8.3 and 8.4 applied consistently; every adjustment has a reason; every obtainable rung has five test results
R5	Legal-line and content check	Before any draft leaves Triodian	Method owner	No sentence states what the law requires; no matter content; "required", "gap" and "residual gap" used only as 10.4 allows; no product named
R6	Counsel review	Phase 5	DLC Legal	Draft seen by counsel first; determinations transcribed accurately
R7	Check	Phase 6	Independent checker, or validation if none is confirmed	Is the assessment sound, and are its findings supported?

12.2 Evidence standards

• Traceable. From any finding to the test results, to the register fields, to the source document and page.
• Reproducible. A second classifier given the same part C facts reaches the same reach class and rung. R3 tests this on every entry.
• Dated. Every configuration export carries the date exported and the date read. Settings change; the register records what was in force on the date.
• Verbatim where it matters. Terms, clauses and counsel's determinations are quoted, not paraphrased.
• Disagreements kept. Where classifier and reviewer differed, both positions and the resolution stay on the worksheet.

12.3 Working papers

• Marked, stored and circulated as DLC Legal directs under the privilege position it determines.
• Versioned. Each worksheet shows preparer, reviewer and date for every version.
• No matter content is collected. If a document supplied contains it, it is returned and a structural or redacted version requested.
• No prompt history, chat log or individual submission is collected or read.
• No adviser or vendor confidential material is sought beyond the terms the company already holds.
• Kept for the retention period, in the storage location and with the disposition recorded at set-up and printed on the technical annex (ISO/IEC 42001:2023, 7.5.3). DLC Legal sets them. At close, counsel records whether the working papers are archived or destroyed.
• Re-assessed at the interval recorded at set-up, and when the matter's stage changes, a channel kind or adviser is added, or a sanctioned tool's terms change. The annex states the interval.

12.4 Exceptions log

Any departure from this framework is logged with the reason and who approved it: a channel kind not considered, an interview not held, a document not supplied, matter content found in a field, a review point skipped. The log is an appendix to the annex.

12.5 Measures reported at close

Measure	Purpose
Channels by kind and boundary	Shows what the register covered
Fields not known, by kind	Shows how much rests on missing facts
Findings by type and grade	The headline result
F5 count and the information classes it reaches	The extent of the residual gap
Obtainable rungs by confidence	How firm the result is
Failed tests by type and boundary	Where evidence breaks down
90-day steps by owner	What the plan asks of whom
Classifier and reviewer differences	How repeatable the classification was
Questions to counsel: sent, answered, open	What remains undetermined

13. Assumptions, dependencies and open items

13.1 Assumptions

• The register is 12 to 25 channels. A company with many advisers or several sanctioned tools extends phase 2 by a day or two within the fixed fee; beyond that, the brief is revisited through DLC Legal.
• Documents D1 to D9 arrive by day 2. Late documents move the plan day for day.
• DLC Legal answers questions within two working days.
• The tenant owner can export configuration without Triodian touching any system.
• The independent check fits in the second week only if the checker is confirmed before day 1; otherwise validation stands as R7 and an external check follows.

13.2 Dependencies

Dependency	Owner	Needed by
Confirmed brief, fee and privilege position	CEO or board, DLC Legal	Before day 1
Matter code name and profile	DLC Legal, GC	Day 2
Documents D1 to D10	Company, through DLC Legal	Day 2
Interview access, including advisers through the company	Matter team lead	Days 2 to 5
Counsel's determinations	DLC Legal	Day 9
Check	Checker, through DLC Legal	Day 10 or following week

13.3 Drafted here, to be confirmed

None of these is in the DLC Legal deck. Each was added to make the method executable.

• The seven channel kinds (section 2.3) and the six information classes (2.4).
• The 25 register fields and the nine-field matter profile (section 6).
• The five questions (section 7). The deck names "five questions a CEO or CFO cannot answer from the IT policy" for the client briefing; confirm whether these are the same five.
• The non-egress ladder N0 to N6 (section 8.3), its base rule, and the boundary adjustments.
• The five-part obtainability test (8.4), carried over from the AI Use Assessment with T2 redefined as matter-scoped.
• Finding types F4 and F5, and reporting F5 per channel rather than once.
• The evidence shortfall grade matrix (9.2) and the exposure consequence codes X1 to X4.
• The ten-day plan, document list and interview list (section 5).
• The five-minute demonstration protocol (5.4) and its place in the annex.
• The two-day counsel turnaround and the 12-to-25 channel default.
• The six matter types (section 2.8): their profile wording and stages (6.1), adviser types, and the information classes I1 to I6 for each (2.4). The deck covers deals only.
• The considerations listed for each type in section 2.1, beyond the four the deck names for deals.
• The readings of X2 to X4 for each type (8.2).
• The board class for each type (2.8) and the mapping from the board's marks to a suggested required rung (8.6).
• Fee and duration for the other types. The fee and the two weeks were set for a deal; confirm they hold for a dispute, a programme, a bid, board papers and export-controlled data.

13.4 For counsel

• Legal references. ASX Listing Rule 3.1 and the Corporations Act are cited as the deck states them. This framework does not restate them; counsel confirms what appears in any deliverable.
• Whether X1 to X4 stay on the technical side of the line. They label information classes reachable, not legal consequence. Confirm the labels and wording.
• Whether T3 stays on the technical side. It records that a setting or term exists and what it says.
• Adviser questions. Confirm the route: through the matter team lead, or through DLC Legal.
• Matter content rule. Confirm the structural-only document requests in 5.2 are sufficient, and the code-name practice.
• Document marking and circulation under the privilege position.
• Whether F5 may appear in the board paper annex as drafted, given the deck's commitment that no product is presented.
• The considerations in section 2.1 for the five new types. They name the kinds of consequence counsel weighs (privilege, patent novelty, trade secrets, tender probity, export permits). Confirm the wording stays descriptive and that counsel is content for them to appear in the method.
• The board's confidentiality position as an input (8.6). Confirm that a suggested required rung, marked for counsel to confirm, is acceptable beside field 24, and that counsel, not the board's position, sets field 24.

13.5 Other open items

• The independent checker. "To be confirmed" in the deck. The two-week plan depends on who it is and when.
• Whether the confidentiality assessment is a mode of the AI Use Assessment app or a separate app. Section 11 is written so either works. The recommendation in the opportunity note of 21 October was a separate, lighter app sharing components and file formats.
• Fee. A$12,500 to A$15,000 fixed per the deck. Confirm against the ten-day plan and the four-person team.
• Recently closed matters. The deck includes recently closed deals; the same applies to every matter type. Confirm what changes: the window is past, so N4 record and N3 history matter more than N5 containment.
• Post-engagement. The residual gap's "control that reads meaning" is noted in the deck as designed, not yet built, targeted for December 2026. This framework does not depend on it.

Sources

• DLC Legal planning deck: "Matter information and AI: where it can reach an external model, and what your client can prove", Damian Hickey, 21 October 2026, 29 slides.
• AI Use Assessment Framework, 11 October 2026, for structure, the obtainability test and the review points.
• Opportunity assessment note, this project, 21 October 2026.
• Development plan tasks 2.7 (matter types) and 2.8 (the board's confidentiality position), 8 November 2026, and the app's content (tools/build-content.py, matterTypes, boardPosition), which this framework follows.

No external source was consulted. Regulatory references are as stated in the deck.